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Feed of 09/15/2026
Also filed as A••• F••••
At current firm
6 y
since Jun 1, 2020
In the industry
23 y
since Dec 8, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••• L•• BD affiliated currentsince Jun 1, 2020 · Annapolis, Md
- O•••• I••••••••• I••• BD affiliatedNov 12, 2009 to Jun 2, 2020 · Charlotte Hall, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2006 to Nov 13, 2009 · A•••Polis, Md
- M••••• S•••••• D• I••• unclassifiedApr 2, 2003 to Mar 28, 2006 · A•••Polis, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2002 to Mar 24, 2003 · Alexandria, Va
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to C••• L••left Jun 2, 2020, registered Jun 1, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• I••••••••• I•••left Nov 13, 2009, registered Nov 12, 2009 (-1 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 28, 2006, registered Mar 24, 2006 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Mar 24, 2003, registered Apr 2, 2003 (9 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address